Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Blog

OMB Provides Guidance on Trump’s 2 for 1 Regulatory Cuts

Trump OMB’s Office of Information and Regulatory Affairs has provided interim guidance on the requirements in Section 2, “Regulatory Cap for Fiscal Year 2017,” of the Executive Order of January 30, 2017, titled “Reducing Regulation and Controlling Regulatory Costs” (“EO”). Importantly, the guidance confirms that the EO is not applicable to independent agencies such as the […] Read more →

by   |   February 6, 2017

US Capitol Building

What’s Next Under the Congressional Review Act?

Energy, Trump As we reported, the House and Senate have passed a joint resolution under the Congressional Review Act disapproving the SEC Resource Extraction Rule and that President Trump was... Read more →

by   |   February 4, 2017

Trump Requires DOL to Reevaluate the Fiduciary Rule

Broker-Dealer, Investment Advisers, Trump Under current law, stockbrokers are only required to recommend suitable investments to their clients. The Department of Labor has issued a so called “fiduciary rule”... Read more →

by   |   February 3, 2017

Executive Order on Dodd-Frank Rollback

Trump President Trump has signed an executive order titled “Presidential Executive Order on Core Principles for Regulating the United States Financial System.“ The... Read more →

by   |   February 3, 2017

SEC Resource Extraction Rule to be Eliminated Under Congressional Review Act

Public Companies and Securities As we previously noted, the House was set to vote on the disapproval of the SEC Resource Extraction Rule under the Congressional Review Act. The joint resolution passed the House... Read more →

by   |   February 3, 2017

First Form AP Filed with the PCAOB

Public Companies and Securities Grant Thornton LLP became the first registered public accounting firm to file a Form AP with the PCAOB. Form AP currently requires identification of the engagement audit partner... Read more →

by   |   February 1, 2017

SEC Reconsidering Conflict Minerals Implementation

Public Companies and Securities SEC Acting Chairman Michael S. Piwowar issued a “Statement on the Commission’s Conflict Minerals Rule” and another statement titled “Reconsideration of... Read more →

by   |   January 31, 2017

SEC Simplifies Filing of Broker-Dealer Annual Reports on EDGAR

Broker-Dealer The SEC has previously provided guidance on the filing of annual and supplemental reports required under Rule 17a-5 or Rule 17a-12 by broker-dealers or over-the-counter... Read more →

by   |   January 30, 2017

House Seeking to Disapprove the Resource Extraction Rule

Public Companies and Securities On Wednesday, February 1, 2017, the House of Representatives is scheduled to consider a joint resolution of disapproval of the SEC’s resource extraction rule. This... Read more →

by   |   January 30, 2017